James Fleming Smalley

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2013 → Present
  Ubs Financial Services Inc
  Orlando, FL

Previous Registrations

• 2003-07-01 → 2013-08-06
  Wells Fargo Clearing Services, Llc
  Orlando, FL
  Orlando, FL
• 2001-08-10 → 2003-07-01
  Prudential Equity Group, Llc
  Orlando, FL

Other Businesses

1) LONGWOOD LAKES LLC - RENTAL PROPERTY; INVESTMENT RELATED; LONGWOOD CA - 18% OWNER. START: 5/14/2013. 0 HRS PER MONTH. DUTIES: NONE. /// 2) JFS TOWERS LLC; INVESTMENT RELATED; ORLANDO, FL; INVEST IN THE DEVELOPMENT OF CELL TOWERS; 20% OWNERSHIP; START DATE 2011; 0 HRS PER MONTH. /// 3) DOUGLAS POINTE FLORIDA, LTD / 704 S. HIGHWAY 17-92 LONGWOOD,FLA 32750 / PARTNERSHIP/ REAL ESTATE / BUY AND LEASE OFFICE BUILDINGS / PARTNER / START DATE 10/30/1996 /// 4) Atlantic Telecom Group, LLC / 250 E. Colonial Drive, suite 300 orlando,fla 32801 / Other/ Real Estate / buy and sell real estate / Partner / / write occasional check. / Start Date 02/03/2017

Exams

• S65 Uniform Investment Adviser Law Examination
  1991-12-24
• S63 Uniform Securities Agent State Law Examination
  1980-06-16

Other Names

• James F Smalley
• James Fleming Smalley
• James Jr.,James Smalley Jr.